banking supervision examiner resume example with 20+ years of experience

(555) 432-1000,
Montgomery Street, San Francisco, CA 94105

Experienced regulatory compliance professional with 22 years of proven leadership in enterprise-wide risk management. Added-value with hands-on management of bank regulatory examinations, enterprise-wide regulatory implementation and internal control evaluations.

  • Expert in risk management
  • Complex problem solving
  • Excellent time management skills
  • Detail-oriented
  • Excellent communication skills
  • Team Leadership and Management 
  • Excellent work ethic
  • Energetic
  • Reliable
  • Strong interpersonal skills
University of Texas Edinburg, TX Expected in B.B.A : Accounting - GPA :

Certified Regulatory Compliance Manager (CRCM)

Certified Fraud Examiner (CFE)

Tetra Tech, Inc. - Banking Supervision Examiner
Fort Collins, CO, 03/2015 - Current
  • Examiner of Compliance Risk Management Programs for State Member banks in accordance with risk-focused consumer compliance  examination procedures.
  • Commissioned by the Board of Governors in July of 2017.
  • Examiner-in-charge in evaluating the efficacy of  risk assessments and compliance risk management programs for both complex and non-complex State Member banks.
  • Examiner-in-Charge of Community Reinvestment Act Performance Evaluations for small and intermediate small State Member banks ensuring the banks are meeting the credit needs of the communities they serve.
  • Visionary leader of the Policies and Procedures Working Group charged with developing and implementing corrective action from internal operations reviews.
  • As the leader of the group, work collectively with a team of colleagues in serving as the repository of examiner innovative ideas for process improvements and policy/procedural changes.
  • Trainer and mentor of over seven newer and entry-level examiners on examination techniques.
BBVA Compass - SVP/Loan Compliance Manager
City, STATE, 07/2008 - 07/2014
  • Successful oversight and implementation of regulatory compliance lending laws and regulations for all aspects of consumer lending.
  • Obtained successful consumer lending compliance examinations.
  • Developed  risk assessments for each consumer loan product in accordance with regulatory requirements. 
  • Partnered with the Compliance Testing group in development of the scope, sample and specific targeted areas of review for consumer lending regulations in accordance with the results of the risk assessments.
  • Crafted corrective action for deficiencies noted from internal and external reviews for lines of businesses.
  • Administered specialized training for detected deficiencies noted during internal and external reviews. 
  • Delivered accurate annual submissions of HMDA and Small Business/Small Farm LARs to the regulatory bodies. 
  • Manager of a team of over ten loan compliance professionals.
Texas State Bank - VP/Compliance Officer
City, STATE, 10/2004 - 07/2008
  • Managed the successful oversight of the Bank's Compliance program.
  • Developed a risk assessment of the bank's consumer products in accordance with regulatory guidance. 
  • Developed and conducted quarterly compliance reviews for presentation to the compliance/audit committee.
  • Created a rating system for detected compliance deficiencies to assist in risk-focus of compliance reviews. 
  • Obtained successful consumer compliance regulatory examinations.
  • Enhanced and maintained ongoing compliance training for bank personnel.
  • Delivered accurate annual submission of the Bank's HMDA and Small Business Business Farm LARs to the regulatory bodies.
  • Manager of over ten compliance experts.
Law Offices Of John Ventura - Accounting and Human Resources Manager
City, STATE, 02/2000 - 05/2004
  • Oversight of the accounting function for the Firm's three locations.
  • Developed, implemented and monitored the Firm's annual budget.
  • Administered the Firm's personnel function.
  • Manager of a team of three accounting specialists.
Four Seasons Trading Company - Office Manager and Accounting Manager
City, STATE, 10/1998 - 02/2000
  • Administered the oversight of day-to-day accounting function. 
  • Successful daily recognition of operational revenues/costs in association with the local/Mexican produce operations.
  • Timely monthly financial statements submitted to corporate for review and publishing which highlighted gross margins.
  • Manager of a team of three accounting specialists. 
Ogden Atlantic Design/Datacom De Mexico - Financial Manager
City, STATE, 10/1997 - 10/1998
  • Generated financial reports of the printer-cartridge manufacturing facility for presentation to Senior Management.
  • Developed a weekly Flash Report for presentation to Senior Management depicting the company's operating results and labor costs.
  • Generated Consolidated Financial Statements for presentation to the parent company.
City National Bank - AVP/Internal Auditor and Compliance Officer
City, STATE, 04/1995 - 08/1997
  • Conducted internal and compliance audits in accordance with board approved audit schedules utilizing examination procedures set forth by the OCC.
  • Assisted external auditors and OCC bank examiners with facilitation of audits and examinations.
  • Provided guidance to department managers in revising and/or developing policies and procedures to ensure an adequate internal control environment.
  • Increased the bank's Compliance rating to satisfactory industry standards.
  • Administered compliance training to bank personnel on compliance regulations.
Lone Star National Bank - AVP/Internal Auditor and Compliance Auditor
City, STATE, 07/1989 - 04/1995
  • Conducted internal audits covering all areas of the Bank in accordance with the Bank's board approved audit plan.
  • Conducted compliance audits covering all facets of compliance.
  • Initiated the Management Control Process(MCP) enterprise-wide to identify and strengthen internal controls and processes for all operational areas of the bank.
  • Enhancement of bank-wide policies and procedures with emphasis on compliance regulations.
  • Targeted compliance training as needed on identified areas of improvement.
Professional Affiliations

Charter member of the RGV Chapter of the Association of Certified Fraud Examiners

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Resume Overview

School Attended

  • University of Texas

Job Titles Held:

  • Banking Supervision Examiner
  • SVP/Loan Compliance Manager
  • VP/Compliance Officer
  • Accounting and Human Resources Manager
  • Office Manager and Accounting Manager
  • Financial Manager
  • AVP/Internal Auditor and Compliance Officer
  • AVP/Internal Auditor and Compliance Auditor


  • B.B.A

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